Series 24 Jobs
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Search Results - Series 24 Jobs
AmeritasLincoln
Professionals and internal associates with Series 24 License.
• Initiate incoming and outgoing transfers on client accounts held with National Financial Services (NFS)
• Deposit of Stock Certificates and Warrants
• Monitor and respond to all service messages...
Bradesco BankCoral Gables
Associate degree in relevant field preferred; education may be substituted with extensive banking compliance experience and knowledge.
• FINRA SIE
• FINRA Series 7
• FINRA Series 24 (or willingness to obtain)
Language: Spanish and English, Portuguese...
TalentlyWheaton (IL)
Series 24 required. Series 7/63/66 strongly preferred.
• 5–10+ years in broker-dealer or securities compliance with emphasis on private funds.
• Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.
• Bachelor’s degree.
Nice to Have...
TalentlyWheaton (IL)
Series 24 (Series 7/63/66 strongly preferred).
• Experience with Investment Advisors Act, Investment Company Act of 1940, SEC, FINRA (Financial Industry Regulatory Authority)
• Private Equity Experience is a plus!
• Experience with non-traded REITs, DSTs...
Bradesco BankCoral Gables
Associate degree in relevant field preferred; education may be substituted with extensive banking compliance experience and knowledge.
• FINRA SIE
• FINRA Series 7
• FINRA Series 24 (or willingness to obtain)
Language: Spanish and English, Portuguese...
Storm2New York
and maintain strong internal and external relationships, working alongside leadership to enable business growth while maintaining regulatory integrity.
What You Bring
• Series 7 Required and open to obtaining Series 24
• Significant AML experience within...
Social Finance, Inc. (SoFi)San Franciscoappcast.io
example: 01/30/25).
• Do you currently hold, or intend to hold, any FINRA licenses if employed by SoFi? (i.e., Series 7, Series 24, Series 27, Series 99, etc.) * Select...
• What FINRA license(s), if any, do you currently hold? *
• N/A
• Series 3 (S3)...
Cantor FitzgeraldNew York
is a plus.
• Series 7 required; Series 24 or ability to obtain within a reasonable timeframe preferred.
• Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment.
• Collaborative mindset aligned with Cantor Fitzgerald’s...
Social Finance, Inc. (SoFi)San Franciscoappcast.io
example: 01/30/25).
• Do you currently hold, or intend to hold, any FINRA licenses if employed by SoFi? (i.e., Series 7, Series 24, Series 27, Series 99, etc.) * Select...
• What FINRA license(s), if any, do you currently hold? *
• N/A
• Series 3 (S3)...
Northwestern MutualMilwaukee
needs:
• Bachelor's degree or equivalent in business, finance, economics or related field equivalent combination of work experience will be considered.
• FINRA SIE, Series 7, and Series 24 required
• Minimum of 3 years of experience in financial...
Denvericims.com
FINRA Series 7 and Series 24 licenses.
• Broad understanding of broker-dealer operations and applicable regulatory frameworks.
• Strong knowledge of FINRA, SEC, and other regulatory requirements
• Demonstrated analytical, problem-solving...
West Des Moinessammonsfinancialgroup.com
core principles
• FINRA Series 6 or 7
• Series 65 or 66 Preferred
• Series 24 or 26 Preferred
Suitability Requirements:
• Due to the financial nature and level of accountability of this position, a credit and criminal background check is required...
QCPNew Yorkworkable.com
Representative
• FINRA Series 24 – General Securities Principal
• Licensing (Strongly Preferred)
• Series 66 – Uniform Combined State Law Exam
• Minimum 8–12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products...
Oklahoma Citytiptopjob.com
and regulations.
This position is a utility role within Wealth Management and the duties and responsibilities may vary based upon the incumbent's department.
Must hold SIE, Series 7 and 66 and willing to obtain the Series 24.
Team Culture
We...
HARVEST WEALTH GROUPExeter (CA)gnahiring.com
and vendor platforms with confidence
• •Initiate 95% of assigned service tickets within 24 hours
• •Complete 95% of tickets without a NIGO
• •Contribute to weekly team meetings and help strengthen systems
What you bring: Active Series 7 license, 3–5 years...
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